SEC Form 4 · accession 0001615774-19-003815
BRC Group Holdings, Inc. · RILY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bryant R Riley
Officer — Chairman and Co-CEO · Director · 10% Owner
Period of report
Mar 6, 2019
Accepted (ET)
Mar 8, 2019 · 5:23 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001464790
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Mar 6, 2019 | P | 3,110 | $16.823 | A | 4,357,088 | D | |
| Common StockF1 | Mar 7, 2019 | P | 13,945 | $16.9273 | A | 4,371,033 | D | |
| Common StockF1 | Mar 8, 2019 | P | 32,945 | $16.9456 | A | 4,403,978 | D | |
| Common StockF2 | holding | — | — | — | 73,617 | I | By B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley | |
| Common StockF3,F7 | holding | — | — | — | 4,875 | I | UTMA account of S.R. | |
| Common StockF4,F7 | holding | — | — | — | 4,875 | I | UTMA account of C.R. | |
| Common StockF5,F7 | holding | — | — | — | 4,875 | I | UTMA account of A.R. | |
| Common StockF6,F7 | holding | — | — | — | 4,875 | I | UTMA account of E.R. | |
| Common StockF8 | holding | — | — | — | 200,000 | I | By the Robert Antin Children Irrevocable Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Bryant R. Riley (the "Reporting Person") beneficially owns these shares directly or jointly with his wife.
- F2B. Riley Financial, Inc. 401(k) Profit Sharing Plan FBO Bryant Riley was formerly known as "B. Riley & Co., LLC 401(k) Profit Sharing Plan FBO Bryant Riley."
- F3The shares are held for S.R., the child of the Reporting Person, through a custodial account established pursuant to the Uniform Transfer to Minors Act ("UTMA") for which the Reporting Person serves as custodian.
- F4The shares are held for C.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
- F5The shares are held for A.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
- F6The shares are held for E.R., the child of the Reporting Person, through a custodial account established pursuant to the UTMA for which the Reporting Person serves as custodian.
- F7The Reporting Person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the Reporting Person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose.
- F8Held of record by the Robert Antin Children Irrevocable Trust Dtd 1/1/01 (the "Trust"). The Reporting Person, as Trustee of the Trust, may be deemed to beneficially own the shares held by the Trust.